NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Penalties Scope: Vary based on violation severity.
Client Data Confidentiality: Protected under custodian regulations.
Custodian Audits: Conducted by SEBI for compliance.
Investor Rights: Access to secure asset safekeeping.
Custodian Infrastructure Standards: Meet SEBI requirements.
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NISM 3A Securities Intermediaries Compliance
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